| 16-01070 | 03/17/2017 | Claimant(s): Laurie Marchel
Claimant Lawyers(s): Alice K. Jump
Respondent(s): Invesco Distributors.
Respondent Lawyers(s): Yvette V. Gatling
Arbitrator(s): Gregory G. Gocek, Sheldon Weinhaus, Mary O'Connell Smith
Hearing Site: St. Louis, MO
| | |
| 16-02951 | 03/09/2017 | Claimant(s): KBS Capital Markets Group LLC
Claimant Lawyers(s): Eric S. Beane
Respondent(s): Andrew Schenk
Respondent Lawyers(s): Donald R. McNeil
Arbitrator(s): Jeffry M. Bauer
Hearing Site: St. Louis, MO
| | |
| 15-01290 | 12/16/2016 | Claimant(s): Raymond, James & Associates.
Claimant Lawyers(s): Dominique E. Heller
Respondent(s): Neal Alster
Respondent Lawyers(s): Neal Evan Alster
Arbitrator(s): Rody P. Biggert
Hearing Site: St. Louis, MO
| | |
| 15-03390 | 09/30/2016 | Claimant(s): Hugh Murray
Claimant Lawyers(s): Hugh Vincent Murray
Respondent(s): Michael Standley, Steven Larson
Respondent Lawyers(s): Michael Thomas Standley, Steven Ellsworth Larson
Arbitrator(s): Thomas J. Ray
Hearing Site: St. Louis, MO
| | |
| 15-03306 | 05/04/2016 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Catania T. Facher
Respondent(s): Thipp Ratsaboutseua
Respondent Lawyers(s): Thipp Ratsaboutseua
Arbitrator(s): John R. Loss
Hearing Site: St. Louis, MO
| | |
| 14-01639 | 03/01/2016 | Claimant(s): Marc Nolan
Claimant Lawyers(s): David Cosgrove
Respondent(s): Michael Gelina, MetLife Securities.
Respondent Lawyers(s): Lawrence R. Goldberg, Martin Harris
Arbitrator(s): Keith E. Mattern, Kim L. Kirn, Joseph K Marshall
Hearing Site: St. Louis, MO
| | |
| 15-00337 | 02/02/2016 | Claimant(s): Steven Farris
Claimant Lawyers(s): Luke A. Baumstark
Respondent(s): U.S. Bancorp Investments.
Respondent Lawyers(s): Eric Raphan
Arbitrator(s): Bruce S. Feldacker, Albert J. Haller, Kim L. Kirn
Hearing Site: St. Louis, MO
| | |
| 15-00935 | 01/08/2016 | Claimant(s): U.S. Bancorp Investments.
Claimant Lawyers(s): Scott T. Earl
Respondent(s): James Rotter
Respondent Lawyers(s): James Thomas Rotter
Arbitrator(s): Thomas J. Ray
Hearing Site: St. Louis, MO
| | |
| 14-02589 | 11/09/2015 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Jeffrey M. Csercsevits
Respondent(s): Jon Gilstrap
Respondent Lawyers(s): Jon Russel Gilstrap
Arbitrator(s): John R. Loss
Hearing Site: St. Louis, MO
| | |
| 15-01085 | 10/12/2015 | Claimant(s): Martin Oberman
Claimant Lawyers(s): Joelle A. Simms
Respondent(s): Bettymae Blum
Respondent Lawyers(s): Richard Fosher
Arbitrator(s): Frederick Michael Switzer
Hearing Site: St. Louis, MO
| | Expungement |
